-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SPnMpbokD6fKDOuy4McgtKAr5L/4oOtcyHKA54C2UI+7p5EJA/VjCH6A6B8MXdgy UwllKImrvGzmG14/dlNxsQ== 0001279891-04-000004.txt : 20041112 0001279891-04-000004.hdr.sgml : 20041111 20041112092406 ACCESSION NUMBER: 0001279891-04-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041112 DATE AS OF CHANGE: 20041112 EFFECTIVENESS DATE: 20041112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WOLVERINE ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001279891 IRS NUMBER: 020611276 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10687 FILM NUMBER: 041135584 BUSINESS ADDRESS: STREET 1: 175 W. JACKSON STREET 2: SUITE 200 CITY: CHICAGO STATE: IL ZIP: 60064 BUSINESS PHONE: 3128844400 MAIL ADDRESS: STREET 1: 175 WEST JACKSON STREET 2: SUITE 200 CITY: CHICAGO STATE: IL ZIP: 60604 13F-HR 1 sep200413f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Wolverine Asset Management, LLC Address: 175 West Jackson Suite 200 Chicago, IL 60604 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items,statements, schedules,lists and tables, are considered integral parts of this submission. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Abraham Title: Director of Compliance Phone: 312-884-3749 Signature, Place, and Date of Signing: Matthew Abraham Chicago, Illinois November 12, 2004 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 121 Form 13F Information Table Value Total: $193,200 List of Other Included Managers: FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ADVANCED MICRO DEVICES INC PUT 007903957 56 7594 SH PUT SOLE 0 0 0 ADVANCED MICRO DEVICES INC NOTE 4.500%12/0 007903AF4 11500 6000000 PRN SOLE 0 0 0 ALKERMES INC NOTE 2.500% 9/0 01642TAE8 5337 5000000 PRN SOLE 0 0 0 ALLIED WASTE INDS INC PFD SR C CONV 019589605 4756 93000 SH SOLE 0 0 0 ALLTEL CORP CORP UNT 7.75% 020039822 692 13350 SH SOLE 0 0 0 AMAZON COM INC PUT 023135956 42 16628 SH PUT SOLE 0 0 0 AMAZON COM INC NOTE 4.750% 2/0 023135AF3 4572 4582000 PRN SOLE 0 0 0 AMERADA HESS CORP PFD CV ACES 7% 023551401 1652 20700 SH SOLE 0 0 0 AMEREN CORP COM 023608102 456 9880 SH SOLE 9880 0 0 AMERICA ONLINE INC DEL NOTE 12/0 02364JAC8 498 780000 PRN SOLE 0 0 0 AMERICAN ELEC PWR INC COM 025537101 20 625 SH SOLE 625 0 0 AMERISOURCEBERGEN CORP COM 03073E105 649 12086 SH SOLE 12086 0 0 AMERISOURCEBERGEN CORP CALL 03073E905 76 569 SH CALL SOLE 0 0 0 AMERISOURCEBERGEN CORP PUT 03073E955 3 10 SH PUT SOLE 0 0 0 AMGEN INC CALL 031162900 1 48 SH CALL SOLE 0 0 0 AMKOR TECHNOLOGY INC NOTE 5.750% 6/0 031652AN0 445 500000 PRN SOLE 0 0 0 AMYLIN PHARMACEUTICALS INC NOTE 2.250% 6/3 032346AB4 3959 4000000 PRN SOLE 0 0 0 ANTHEM INC COM 03674B104 5320 60978 SH SOLE 60978 0 0 ASK JEEVES INC PUT 045174959 198 336 SH PUT SOLE 0 0 0 ASK JEEVES INC NOTE 6/0 045174AB5 16458 7957000 PRN SOLE 0 0 0 ATHEROGENICS INC CALL 047439904 511 1166 SH CALL SOLE 0 0 0 ATHEROGENICS INC PUT 047439954 9 347 SH PUT SOLE 0 0 0 AVAYA INC CALL 053499909 0 36 SH CALL SOLE 0 0 0 BISYS GROUP INC NOTE 4.000% 3/1 055472AB0 493 500000 PRN SOLE 0 0 0 BAXTER INTL INC CORP UNITS 7% 071813406 656 12200 SH SOLE 0 0 0 BOISE CASCADE CORP COM 097383103 34 1033 SH SOLE 1033 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 43 3325 SH SOLE 3325 0 0 CAPITAL ONE FINL CORP DECS UPPR 6.25 14040H204 536 10100 SH SOLE 0 0 0 CHUBB CORP COM 171232101 61 874 SH SOLE 874 0 0 CINERGY CORP COM 172474108 2584 65259 SH SOLE 65259 0 0 COMVERSE TECHNOLOGY INC PUT 205862952 0 196 SH PUT SOLE 0 0 0 COMVERSE TECHNOLOGY INC DBCV 1.500%12/0 205862AJ4 127 130000 PRN SOLE 0 0 0 CONNETICS CORP NOTE 2.250% 5/3 208192AB0 3425 2500000 PRN SOLE 0 0 0 CONSECO INC PFD B CV 5.50% 208464867 500 20300 SH SOLE 0 0 0 CONSTELLATION BRANDS INC CL A 21036P108 139 3643 SH SOLE 0 0 0 CREDENCE SYS CORP NOTE 1.500% 5/1 225302AF5 5426 5500000 PRN SOLE 0 0 0 CURAGEN CORP SDCV 6.000% 2/0 23126RAC5 483 500000 PRN SOLE 0 0 0 DTE ENERGY CO COM 233331107 332 7866 SH SOLE 7866 0 0 DECS TR IX DECS EXCH LABR 24366R207 126 13500 SH SOLE 0 0 0 E TRADE FINANCIAL CORP PUT 269246954 7 2938 SH PUT SOLE 0 0 0 EXTREME NETWORKS INC NOTE 3.500%12/0 30226DAB2 412 425000 PRN SOLE 0 0 0 FORD MTR CO CAP TR II PFD TR CV6.5% 345395206 500 9500 SH SOLE 0 0 0 GENERAL MTRS CORP DEB SR CV C 33 370442717 1177 41700 SH SOLE 0 0 0 GENERAL MTRS CORP DEB SR CONV B 370442733 326 13500 SH SOLE 0 0 0 GENZYME CORP PUT 372917954 0 80 SH PUT SOLE 0 0 0 GREAT PLAINS ENERGY INC COM 391164100 65 2226 SH SOLE 2226 0 0 HUMAN GENOME SCIENCES INC PUT 444903958 4 740 SH PUT SOLE 0 0 0 HUMAN GENOME SCIENCES INC NOTE 3.750% 3/1 444903AH1 1262 1295000 PRN SOLE 0 0 0 HUTCHINSON TECHNOLOGY INC PUT 448407956 2 154 SH PUT SOLE 0 0 0 IMC GLOBAL INC PFD CV 7.5% 449669209 13032 111100 SH SOLE 0 0 0 IMCLONE SYS INC PUT 45245W959 25 9987 SH PUT SOLE 0 0 0 INDEVUS PHARMACEUTICALS INC NOTE 6.250% 7/1 454072AB5 2000 1500000 PRN SOLE 0 0 0 INPUT/OUTPUT INC NOTE 5.500%12/1 457652AB1 1612 625000 PRN SOLE 0 0 0 INTERNATIONAL RECTIFIER CORP COM 460254105 189 5500 SH SOLE 5500 0 0 INTERNATIONAL RECTIFIER CORP PUT 460254955 51 1000 SH PUT SOLE 0 0 0 INTERNATIONAL RECTIFIER CORP NOTE 4.250% 7/1 460254AE5 1873 1900000 PRN SOLE 0 0 0 INTERPUBLIC GROUP COS INC PFD CONV SER A 460690308 1532 36900 SH SOLE 0 0 0 INTERPUBLIC GROUP COS INC PUT 460690950 1 230 SH PUT SOLE 0 0 0 INTERPUBLIC GROUP COS INC NOTE 4.500% 3/1 460690AT7 5356 4500000 PRN SOLE 0 0 0 IVAX CORP PUT 465823952 2 760 SH PUT SOLE 0 0 0 JAKKS PAC INC NOTE 4.625% 6/1 47012EAB2 1723 1250000 PRN SOLE 0 0 0 JETBLUE AWYS CORP NOTE 3.500% 7/1 477143AB7 931 1000000 PRN SOLE 0 0 0 LTX CORP PUT 502392953 7 10 SH PUT SOLE 0 0 0 LTX CORP NOTE 4.250% 8/1 502392AE3 490 500000 PRN SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC PUT 52729N950 196 2300 SH PUT SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 6.000% 9/1 52729NAG5 540 1000000 PRN SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 2.875% 7/1 52729NBA7 1294 2000000 PRN SOLE 0 0 0 MARATHON OIL CORP CALL 565849906 237 325 SH CALL SOLE 0 0 0 MARATHON OIL CORP PUT 565849956 0 130 SH PUT SOLE 0 0 0 MCKESSON CORP PUT 58155Q953 2 862 SH PUT SOLE 0 0 0 MENTOR GRAPHICS CORP NOTE 6.875% 6/1 587200AB2 1548 1500000 PRN SOLE 0 0 0 MESA AIR GROUP INC NOTE 2.482% 6/1 590479AB7 1828 6000000 PRN SOLE 0 0 0 MICRON TECHNOLOGY INC CALL 595112903 79 1280 SH CALL SOLE 0 0 0 MOTOROLA INC COM 620076109 1049 58133 SH SOLE 58133 0 0 NASDAQ 100 TR UNIT SER 1 631100104 921 26200 SH SOLE 0 0 0 NASDAQ 100 TR PUT 631100954 1 314 SH PUT SOLE 0 0 0 NAVISTAR INTL CORP NEW COM 63934E108 1157 31100 SH SOLE 31100 0 0 NETEASE COM INC SPONSORED ADR 64110W102 208 5490 SH SOLE 0 0 0 NETEASE COM INC PUT 64110W952 225 537 SH PUT SOLE 0 0 0 NEWMONT MINING CORP PUT 651639956 4 1576 SH PUT SOLE 0 0 0 NORTHROP GRUMMAN CORP COM 666807102 332 6226 SH SOLE 6226 0 0 NOVELL INC PUT 670006955 37 100 SH PUT SOLE 0 0 0 OMNICARE INC COM 681904108 427 15057 SH SOLE 15057 0 0 PACIFICARE HEALTH SYS DEL PUT 695112952 5 2180 SH PUT SOLE 0 0 0 PACIFICARE HEALTH SYS DEL DBCV 3.000%10/1 695112AG7 3789 2000000 PRN SOLE 0 0 0 PETROLEO BRASILEIRO SA PETRO CALL 71654V908 5 60 SH CALL SOLE 0 0 0 PHELPS DODGE CORP PFD A CV 6.75% 717265508 15769 81600 SH SOLE 0 0 0 PHOENIX COS INC NEW CORPORATE UNIT 71902E406 614 18900 SH SOLE 0 0 0 PIXELWORKS INC CALL 72581M907 0 50 SH CALL SOLE 0 0 0 PROVIDIAN FINL CORP CALL 74406A902 5 87 SH CALL SOLE 0 0 0 PROVIDIAN FINL CORP NOTE 4.000% 5/1 74406AAC6 2008 1500000 PRN SOLE 0 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 22 508 SH SOLE 508 0 0 QLT INC NOTE 3.000% 9/1 746927AB8 5354 4320000 PRN SOLE 0 0 0 REYNOLDS AMERICAN INC CALL 761713906 359 740 SH CALL SOLE 0 0 0 SAFEGUARD SCIENTIFICS INC NOTE 5.000% 6/1 786449AE8 554 553000 PRN SOLE 0 0 0 ST PAUL TRAVELERS INC COM 792860108 8 235 SH SOLE 235 0 0 ST PAUL TRAVELERS INC EQUITY UNIT 792860306 326 5300 SH SOLE 0 0 0 SCHERING PLOUGH CORP PFD CONV MAND 806605606 2210 41800 SH SOLE 0 0 0 SEALED AIR CORP NEW PUT 81211K950 18 7198 SH PUT SOLE 0 0 0 SEMPRA ENERGY INCOME EQTY UT 816851208 214 6900 SH SOLE 0 0 0 SEPRACOR INC SDCV 5.000% 2/1 817315AL8 514 500000 PRN SOLE 0 0 0 SINA CORP NOTE 7/1 82922RAB9 4342 3500000 PRN SOLE 0 0 0 SKYWORKS SOLUTIONS INC NOTE 4.750%11/1 83088MAB8 10078 8000000 PRN SOLE 0 0 0 SOVEREIGN BANCORP INC PUT 845905958 3 1335 SH PUT SOLE 0 0 0 TECO ENERGY INC COM 872375100 81 5969 SH SOLE 5969 0 0 TXU CORP COM 873168108 57 1180 SH SOLE 1180 0 0 TERADYNE INC SDCV 3.750%10/1 880770AD4 1999 2000000 PRN SOLE 0 0 0 TIME WARNER INC PUT 887317955 5 1860 SH PUT SOLE 0 0 0 TRANSWITCH CORP NOTE 4.500% 9/1 894065AB7 235 300000 PRN SOLE 0 0 0 TYCO INTL LTD NEW CALL 902124906 10 212 SH CALL SOLE 0 0 0 TYCO INTL LTD NEW PUT 902124956 64 1275 SH PUT SOLE 0 0 0 UNITED STATES STL CORP NEW PFD CV B 7% 912909207 19012 153500 SH SOLE 0 0 0 UNOCAL CORP PUT 915289952 1 241 SH PUT SOLE 0 0 0 UTSTARCOM INC NOTE 0.875% 3/0 918076AB6 7761 7750000 PRN SOLE 0 0 0 VIROPHARMA INC NOTE 6.000% 3/0 928241AC2 390 500000 PRN SOLE 0 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W100 434 18000 SH SOLE 0 0 0 VODAFONE GROUP PLC NEW CALL 92857W900 25 150 SH CALL SOLE 0 0 0 VODAFONE GROUP PLC NEW PUT 92857W950 25 406 SH PUT SOLE 0 0 0 WEBMD CORP NOTE 3.250% 4/0 94769MAC9 1511 1500000 PRN SOLE 0 0 0 XEROX CORP PFD CONV SER C 984121509 546 4300 SH SOLE 0 0 0 XEROX CORP PUT 984121953 12 4659 SH PUT SOLE 0 0 0
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